| 17-02241 | 12/31/2018 | Claimant(s): Thomas Peterson
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Hilltop Securities Inc.
Respondent Lawyers(s): Jonathan D. Neerman
Arbitrator(s): Louis J. Weber, Edward Bradbury Cloutman, Larry Adair
Hearing Site: Dallas, TX
|  | $0 |
| 18-02838 | 12/31/2018 | Claimant(s): Stanley Young
Claimant Lawyers(s): Stanley E. Young
Respondent(s): Timothy Grossman, Valic Financial Advisors.
Respondent Lawyers(s): Robert J. Harvey
Arbitrator(s): Vicky L. Orem
Hearing Site: Baltimore, MD
| | $9,266 |
| 17-01761 | 12/27/2018 | Claimant(s): Bruce L. Sanft IRA, Bruce L. Sanft Revocable Trust
Claimant Lawyers(s): Gary S. Menzer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): Fredric R. Dichter, Thomas W. Allen, Joseph Michael Librie
Hearing Site: Boca Raton, FL
| | Expungement |
| 16-02052 | 12/26/2018 | Claimant(s): Asante Samuel, Gregory Groves, James Groves, Deepside LLC, Makin Moves 22, Pearl Brothers LLC
Claimant Lawyers(s): Curtis Carlson, Matthew E. Johnson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Steven R. Reininger, Sonja Shuford, Dorota J. Trzeciecka
Hearing Site: Miami, FL
| | $4,211,750 |
| 17-02423 | 12/26/2018 | Claimant(s): Steve L. Sexton IRA, Steve and Marcia Sexton, Marcia G. Sexton, REV LIV
Claimant Lawyers(s): Matthew Skidmore
Respondent(s): Morgan Stanley, Michael Cooper
Respondent Lawyers(s): Christopher M. Sacco
Arbitrator(s): Thomas B. Corey, Robert P. Porter, Richard James Igou
Hearing Site: Raleigh, NC
| | $0 |
| 18-00629 | 12/24/2018 | Claimant(s): John Shull
Claimant Lawyers(s): John C. Shull
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Hoffman
Arbitrator(s): Michael S. Yauch
Hearing Site: Houston, TX
| | $0 |
| 17-01985 | 12/21/2018 | Claimant(s): Sally Reagan
Claimant Lawyers(s): Nelson S. Ebaugh
Respondent(s): Morgan Stanley, Ganesh Iyer
Respondent Lawyers(s): Crystal Robles, Nicholas N. George
Arbitrator(s): Daniel J. Pagnano, Christine L. Stetson, Maryanne M. Esser
Hearing Site: Houston, TX
| | $54,954 |
| 17-03272 | 12/19/2018 | Claimant(s): Martha Jocis
Claimant Lawyers(s): Peter C. Rageas
Respondent(s): Capital City Securities
Respondent Lawyers(s): Gary S. Kessler
Arbitrator(s): Raymond J. Sterling, Stephen D Kursman, Cyrus K. Motlagh
Hearing Site: Detroit, MI
| | Dismissed by Rule 12206 |
| 17-02221 | 12/18/2018 | Claimant(s): George Porter, George W. Porter, Jr., IRA, Porter Living Trust
Claimant Lawyers(s): Stephen D. Wadsworth
Respondent(s): Morgan Keegan & Company
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Mark L. Williams, Mary Elizabeth Skelnik, Joseph Neal Richardson
Hearing Site: Birmingham, AL
| | $221,663 |
| 17-03215 | 12/18/2018 | Claimant(s): Timothy Goggins
Claimant Lawyers(s): Matthew M. Fernholz
Respondent(s): Bradley Angeletti, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Patrick J. Lubenow
Arbitrator(s): Jeffry M. Bauer, Herbert S. Bratt, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
| | Expungement |
